DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
VALENCIA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 14, 2018 | n/a | yes | VALENCIA, CA | Current employment |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Aug 11, 2009 | Feb 14, 2018 | no | CLEARWATER, FL|Stevenson Ranch, CA | Previous registration |
| CROWELL, WEEDON & CO. | Former SEC adviser | Jan 16, 2009 | May 1, 2009 | no | ENCINO, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2007 | Feb 5, 2009 | no | LOS ANGELES, CA|WEST HOLLYWOOD, CA|GLENDALE, CA | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | Jan 10, 2007 | May 29, 2007 | no | GLENDALE, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Jul 4, 2003 | Dec 8, 2006 | no | SANTA MONICA, CA|SANTA MONICA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVEST FINANCIAL CORPORATION | LPL FINANCIAL LLC | Feb 14, 2018 | Feb 14, 2018 | 0 | Bulk transfer | Other |
| CROWELL, WEEDON & CO. | INVEST FINANCIAL CORPORATION | May 1, 2009 | Aug 11, 2009 | 102 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | CROWELL, WEEDON & CO. | Feb 5, 2009 | Jan 16, 2009 | -20 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | CITIGROUP GLOBAL MARKETS INC. | May 29, 2007 | May 29, 2007 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | CITICORP INVESTMENT SERVICES | Dec 8, 2006 | Jan 10, 2007 | 33 | Firm change | Other |